AUGUSTA, MAINE 04333-0135
PHONE: (207) 287-4179 FAX: (207) 287-6775
To: Commissioners
Date: December 10, 2019
Re: Request by Philip Spiller for Waiver of Late-Filing Penalties
Due to Three Late
24-Hour Reports for a Municipal Election
Philip Spiller was a candidate running for the Mayor of Westbrook
in the 2019 municipal
election. This was Mr. Spiller’s first campaign for public
office.
Mr. Spiller’s campaign made three expenditures on separate days
that were required to be
filed on 24-Hour Reports within twenty-four hours of the
transactions. All three reports
went unfiled until November 8, 2019, three days after the election.
The preliminary
penalties for the late reports total $2,395.28. Mr. Spiller is
requesting a waiver of the
penalties.
LEGAL REQUIREMENTS
For candidates for municipal office, the municipal clerk is
responsible for any duty
assigned to the Commission in this subchapter related to the
registration of candidates,
receipt of reports and distribution of information or forms, unless
otherwise provided.
Notwithstanding any other deadline set forth in this chapter,
candidates shall file their
reports by the close of business on the day of the filing deadline
established for the office
of the municipal clerk. The Commission retains the sole authority
to prescribe the content
of all reporting forms. The Commission does not have responsibility
to oversee the filing
of registrations or campaign finance reports relating to municipal
campaigns, except that
the Commission has the discretion to conduct investigations and
assess penalties under
subsection 3-A. (21-A M.R.S.A § 1011(3))
Commission Meeting: 12/18/2019 Agenda Item #5
2
Municipal campaign finance reports must be filed, subject to all
the provisions of this
subchapter, with the municipal clerk on forms prescribed by the
Commission on
Governmental Ethics and Election Practices. The municipal clerk
shall send any notice of
lateness required by subsection 6 and shall notify the commission
of any late reports
subject to a penalty. (21-A M.R.S.A § 1020-A(3))
Candidates, including municipal candidates, are required to file
24-Hour Reports with the
Commission during the 13 days prior to an election if they receive
a contribution or make
an expenditure of $1,000 or more. (21-A M.R.S.A. § 1017(3-A)(C))
When a candidate is
late in filing a report, the amount of the penalty is set by a
formula which takes into
consideration a percentage of the total contributions or
expenditures, whichever is
greater, the number of prior violations within a two-year period,
and the number of days
the report is late. (21-A M.R.S.A. § 1020-A)(4-A))
DISCUSSION
Due to the fact Mr. Spiller was a municipal candidate, the election
Mr. Spiller
participated in was overseen by Angela Holmes, the City Clerk of
Westbrook. According
to Ms. Holmes, Mr. Spiller had been notified of the requirement to
file 24-Hour Reports
via: an initial training session conducted by Ms. Holmes for Mr.
Spiller; the Municipal
Candidate’s Guidebook; emails which contained links to guidance
materials on the
Commission’s website; in a letter sent October 29th outlining a
previous penalty; and in
multiple phone and in-person conversations that took place during
the election cycle.
On November 7th, Ms. Holmes became concerned that Mr. Spiller may
have been
required to file at least one, if not several, 24-Hour Reports, due
to ads that had been
published in the local newspaper and notification of a direct mail
piece that had been
delivered to households in Westbrook. Ms. Holmes knew that these
expenditures had not
been included on Mr. Spiller’s 11-Day Pre-Election Report, and
therefore had most likely
occurred during the 24-Hour reporting period, which began on
October 23, 2019, and
ended on November 4, 2019. Ms. Holmes contacted Mr. Spiller
directly via phone and
email to offer another reminder of the 24-Hour Reports. After a few
points of contact,
3
Mr. Spiller realized that several 24-Hour Reports had gone unfiled,
and subsequently
filed three late 24-Hour Reports with Ms. Holmes at the Westbrook
City Hall.
Based on the statutory formula for calculating late-filing
penalties, the preliminary
penalties combined amount to $2,395.28, calculated as
follows:
Through a letter submitted November 26, 2019 and then revised and
resubmitted
December 9, 2019 (revised version attached), Mr. Spiller asks that
the Commission
partially waive the preliminary penalties. In Mr. Spiller’s letter,
numerous personal issues
and commitments are described as impediments to being able to
remember and comply to
campaign finance requirements. These include having multiple
voluntary and paid
positions, an illness, and problems with a domestic partner, who
was initially Mr.
Spiller’s treasurer. Mr. Spiller’s letter also states that better
communication and support
from Ms. Holmes would have increased the likelihood of reports
being filed on time. Mr.
Spiller’s letter, however, does not include particular details on
precisely why none of the
three 24-Hour Reports were timely filed. Candidate Registrar Emma
Burke had provided
Mr. Spiller an opportunity to submit a revised version of the
waiver request, suggesting
Mr. Spiller include more specific information on what happened with
the late-filed 24-
Hour Reports; Mr. Spiller did submit a revised version, but it does
not offer much more
regarding specifically why the reports were late.
STAFF RECOMMENDATION
Accurate and complete campaign finance reports are an integral part
of Maine Campaign
Finance Law. Members of the public, candidates, and other
interested parties should
always be able to see how candidates and committees have raised and
spent their
campaign funds after a filing deadline. This is especially
important in municipal elections
in which financial activity is concentrated in a short time
period.
Report Deadline Financial
4
Mr. Spiller’s waiver request regarding missing filing the three
24-Hour Reports is,
unfortunately, lacking in clear explanations for why that occurred.
It is the Commission
staff’s opinion that the work of Angela Holmes should have resulted
in a definite
understanding of the filing requirements. Ms. Holmes went above and
beyond what is
expected of the role of the City Clerk in explaining campaign
finance requirements. In
the opinion of the Commission staff, she should be commended for
the level of
information, communication and guidance she provided to municipal
candidates in the
November 5, 2019 election.
The choice to run for public office is a voluntary one, and must be
weighed against other
personal and employment responsibilities. The majority of
candidates have many
responsibilities and difficulties placed upon them, and the
expectations to comply to
Maine Campaign Finance Law are almost always met.
In the summer of 2018, the Commission staff announced its intent to
use $300 as its
baseline penalty for late-filed reports by candidates, with the
flexibility to increase or
decrease penalties based upon the specific circumstances of a late
report.
In this case, the Commission staff views the preliminary penalty of
$2,395.28 as
disproportionately high, compared to the harm to the public. We
recommend a penalty of
$300 per report, for a total penalty of $900, because:
• the financial information was disclosed after the election took
place;
• the candidate received all of the information necessary to
understand how to
timely file;
• no clear explanations were given as to why the reports were filed
late.
Thank you for your consideration of this memo.
Philip D. Spiller, Jr. Captain, Jetblue Airways CDR, US Navy
(retired) 76 Sawyer Rd. Westbrook, ME 04092 November 22nd,
2019
Ms. Burke Candidate Registrar Maine Ethics Commission 135 State
House Station Augusta, ME 04333
Dear Ms. Burke:
I am respectfully requesting a waiver for a late filing penalty fee
for three 24-Hour reports during the recent November 5th, 2019
election as a candidate for the Mayor of the City of Westbrook. As
per a letter dated November 12, 2019 from the Office of the City
Clerk of the City of Westbrook, I am submitting this request prior
to 5:00pm on Tuesday, November 26th 2019.
Being a first-time candidate for municipal office and one I had not
really planned on, this was quite the experience. Looking back on
the entire process and candidate requirements, there may perhaps be
some shortcomings in the communications procedures – especially for
first-time candidates. I am certainly willing to offer suggestions
and potential improvements – at a minimum for our City of Westbrook
communications - during a potential hearing to discuss penalty
fees. As great a learning experience as the campaign was itself -
now that the election is over and life is returning to normal, I
certainly look forward to any final learning opportunities /
helping future candidates.
I am respectfully asking for at least a reduced penalty from the
$2,395.28 requested from the City of Westbrook. I do not believe it
fair – nor right – to ask for a full waiver. These reasons include,
but are not limited to, as follows:
1. I initially had assigned a Treasurer to my campaign due to the
time commitments / attention I was advised being Treasurer would
take. This was even more necessary in my case I believe – due to
still working full time as an airline captain and battling a
serious lung condition, but also due to an overly-active
involvement in the Westbrook community including serving as Board
VP of our Main Street America downtown revitalization group, Board
President of Westbrook American Legion Post 62, a city-appointed
Commissioner on the Westbrook Recreation and Conservation
Commission, Westbrook’s representative on the Greater-Portland
regional tourism Visit Portland Board of Directors, and helping
numerous city-improvement projects including a downtown Main Street
banner refresh project, a large dog / ramp park expansion project,
and a large federal grant project working with the ME Bureau of
Parks and Lands. Initially, my Domestic Partner of nearly 9 years
had initially expressed interest in being my Treasurer, so I
submitted her name. Unfortunately, when it became apparent that she
would not only not support my candidacy - but that one of the other
Mayoral candidates would have her full support instead - I removed
her as my Treasurer. My suspicions were evidenced not only by her
monetary contribution to another Mayoral campaign afterwards
(reference donation by Susan McCarthy on 11-day Pre-Election report
of candidate Michael T. Foley of Westbrook), but also quite
actively discrediting my character and campaign on local social
media and throughout the Westbrook community.
ETH - 1
Due to this breach of trust with my first-assigned Treasurer with
another Mayoral candidate instead, I decided to act as my own
Treasurer. Additionally, this breach of trust - combined with the
questionable behavior of a fellow Mayoral candidate in accepting
her support (in my opinion) - also took an emotional toll on myself
and my campaign. I believe this was a distinct cause of my loss of
attention to detail, especially in my reporting efforts
2. Looking back, my initial meeting with Westbrook City Clerk
discussing the 2019 Municipal Candidate Guidebook I said I had just
printed out - was perhaps a bit more abbreviated than it should
have been. In addition to me not knowing what to grasp as important
or what questions to ask – being a first-time candidate – there
also seemed to be a belief I was not serious about my candidacy,
and was not going to follow through with a campaign. This was even
discussed in my initial meeting with our City Clerk, as she had
also heard these rumors. I do not recall any discussion of
penalties of late reporting occurring during this initial briefing
– i.e 2% for a first infraction, 4% for the second, etc.
3. My first campaign finance report (and first I had ever filed)
was submitted one working day late. The City Clerk became aware of
my extreme diligence in ensuring that this initial 11-Day
Pre-Election Report would not be any later than that one working
day, as I declined to leave the City Hall offices until I had
completed the report and filed it with her. I believe she
understood that I took the campaign finance requirements very
seriously at that point - and would work diligently to ensure any
final reports would be in, on time.
4. After paying the first fine of the 11-Day Pre-Election filing
report, there was one additional conversation I recall
having with our City Clerk – which essentially entailed her
reminding me “to read my emails, as there was important information
in them.” To which I responded that I was doing my best to keep my
head above water on many fronts, while still working full-time
keeping up with my extensive work requirements, health challenges,
and community organizational work.
I believe at this point – or shortly thereafter however – Mrs.
Holmes probably suspected I had perhaps already been late on one –
or multiple – required 24-Hour Reports. The first subsequent phone
call I received from her expressing “concern” that I had missed one
– or multiple – 24-Hour Reports however, wasn’t until a couple days
after the election. Understandably it was my responsibility - and
not the City Clerk’s - to completely understand all reporting
requirements – but as to the reasons I alluded to above (being a
first-time candidate, working full-time, another Mayoral candidate
questionably accepting my Domestic Partner’s assistance and thus
removing her as my Treasurer, over-active involvement in multiple
community organizations and improvement projects, and dealing with
a severe lung disorder), with a little better initial guidance /
follow-up from our municipality once it was obvious I had missed
one or multiple 24-Hour report(s), I would have willingly and
swiftly submitted those reports. Because finally, within hours of
receiving that phone call from the City Clerk - and finally
receiving more specific guidance on the 24-Hour reports - I had the
reports quickly submitted.
ETH - 2
Thank you for your engaged attention in this matter – in my attempt
to explain just a few of the reasons why I fell short in submitting
the required 24-Hour Reports. To say I am beyond disappointed in my
shortcoming in this matter is an understatement. Again, I look
forward to a possible discussion in this matter – to perhaps
mitigate another first-time candidate having similar challenges.
And a possible reduction of the late-filing fee of $2,395.28. As a
dedicated public servant for the Westbrook community and a
Community Volunteer of the Year award recipient from my employer,
this penalty amount seems both unfortunate on face value – but also
discouraging to other potential candidates considering running for
public office.
Respectfully,
Philip D. Spiller, Jr. Captain, Jetblue Airways CDR, US Navy
(retired)
ETH - 3
ETH - 4
ETH - 5
ETH - 6
From: Angela Holmes To: Burke, Emma Subject: Spiller Communications
Date: Monday, December 9, 2019 14:49:35 Attachments: Spiller
Communications.pdf
EXTERNAL: This email originated from outside of the State of Maine
Mail System. Do not click links or open attachments unless you
recognize the sender and know the content is safe. Hi Emma, I went
through my emails to check each time Spiller received notification
of campaign filing requirements. The emails are attached, for
reference, and an outline of the dates is included below:
August 27, 2019 – Registration and campaign finance regulations
August 30, 2019 – Reminder to register and resending campaign
finance filing September 13, 2019 – Overview of campaign finance
reporting requirements; summary of reporting FAQs October 18, 2019
– Reminder of upcoming campaign finance deadline October 21, 2019 –
This email actually doesn’t address campaign finance; it outlines
other election regulations, but I’m including it because I had
cited it in my late fine letters to Phil October 25, 2019 –
Reminder of deadline for campaign finance October 28, 2019 – Notice
to Spiller, 11-Day Report is late October 29, 2019 – Reminder on
24-hour reports; link to scanned copies of reports; letter to
Spiller regarding late fines for late 11-Day report November 1,
2019 – Reminder of deadline for 11-Day Pre-Election Report
amendments November 4, 2019 – Reminder on 24-hour reports;
resending previous email November 7, 2019 – Email to Spiller,
concern about potential need to file 24-hour reports
November 12, 2019 – Scanned copy of letter outlining 2nd late
filing penalty
There are a number of additional communications with Phil, but
these seemed to be most relevant. Angela Holmes, CCM/CMC City Clerk
& Registrar of Voters City of Westbrook 2 York Street
Westbrook, ME 04092 Phone: (207) 591-8115 Email:
[email protected] NOTICE: In accordance with 1 M.R.S. §
402(3) of Maine's Freedom of Access Act, any record (including this
email) in the possession or custody of a public official which has
been received or prepared for use in connection with the
transaction of public or governmental business or contains
information relating to the transaction of public or governmental
business may constitute a public record. There are very few
exceptions. For more information, please visit
www.maine.gov/foaa.
ETH - 9
(
[email protected]); "
[email protected]"; Larry
McWilliams; "
[email protected]";
"
[email protected]"; "
[email protected]";
"
[email protected]"; "Adam Cowsert"; "Phil Brown";
"
[email protected]"
Subject: Candidate Registration Date: Tuesday, August 27, 2019
4:38:00 PM Importance: High
Dear all, You have all been nominated as candidates to appear on
the November 5, 2019 ballot. State law requires that each of you
complete a Candidate Registration Form within 10 days of the
nomination. I realize I’m sending this notice out late, so I ask
that each of you please complete this form if you have not done so
already and return it to my office by 5pm on Friday 8/30. For your
convenience, you may scan/email the form by the deadline, and mail
or drop off the original by the following week. In addition, please
note that if you intend to raise/expend funds on your campaign
(including your own personal funds), you will be required to
complete a Campaign Finance Report. Please review the information
listed here. The most important documents to review are as
follows:
Filing Schedule Campaign Finance Report Form 2019 Municipal
Candidate’s Guidebook
Please let me know if you have any questions, or if you wish to
meet in person to review these requirements. In addition, for those
already serving on City Council or the School Committee, please
note that you will need to designate another email address for
campaign use. Angela Holmes, CMC City Clerk & Registrar of
Voters City of Westbrook 2 York Street Westbrook, ME 04092 Phone:
(207) 591-8115 Email:
[email protected] NOTICE: In accordance
with 1 M.R.S. § 402(3) of Maine's Freedom of Access Act, any record
(including this email) in the possession or custody of a public
official which has been received or prepared for use in connection
with the transaction of public or governmental business or contains
information relating to the transaction of public or governmental
business may constitute a public record. There are very few
exceptions. For more information, please visit
www.maine.gov/foaa.
Included below is an outline of the basics of campaign finance
reporting requirements for City of Westbrook candidates. Please
consult the “Municipal Candidates Guidebook” for additional
information.
OVERVIEW Why do we have to submit campaign finance reports?
• Maine State Law dictates that municipal candidates in
municipalities with populations of ≥ 15,000 are subject to the same
campaign finance reporting requirements as candidates for state and
county office, with the municipal clerk acting in place of the
Maine Ethics Commission
• There are two parts to this process – registering as a candidate,
and filing campaign finance reports
Can I file my paperwork electronically?
• You may scan/email your registration form and campaign finance
reports to the Clerk, so long as the originals are received within
5 calendar days of the filing deadline
Who can look at my reports?
• Your registration and campaign finance reports are public
documents and can be inspected by any member of the public,
including other candidates and the media. The City may choose to
make copies of reports available online for ease of access.
PART 1 – CANDIDATE REGISTRATION Who must register as a
candidate?
• If you raise funds for your campaign (including accepting
donations) • If you expend funds on your campaign (including your
own funds) • If you file nomination papers to appear on the ballot
• If you are nominated by caucus to appear on the ballot • If you
file as a write-in candidate • EVERY candidate must register, even
if you do not intend to raise/expend funds on your
campaign
When do I need to register?
• Before you accept contributions for your campaign • Before you
make any expenditures on your campaign • Within 10 days of being
nominated to appear on the ballot (whether by filing papers or
by
caucus nomination)
How do I register?
• Complete the Registration form • Nominate a Treasurer (you can be
your own Treasurer) • If there are any changes, notify the Clerk
within 10 days
What if I don’t want to raise or expend funds on my campaign?
• If you are not raising/expending funds on your campaign
(including your own funds), you still need to register. However,
you do NOT need to file Campaign Finance Reports.
• Select the “exempt” option on the registration form. No need to
file any other paperwork. • You may change your mind at any point –
file an updated registration form to remove your
exempt status
What do I have to do once I’m registered?
• Open a separate bank account to use exclusively for campaign
finance activities • Keep record of all financial activities
(receipts, etc.) for 2 years • Complete the Campaign Finance Report
forms listing all contributions and expenditures made
for your campaign
What Campaign Finance Reports do I have to file?
• Every who is not exempt (whether you win or lose) must file: o
11-Day Pre-Election Report, due on 10/25 (covers beginning of
campaign – 10/22) o 42-Day Post-Election Report, due on 12/17
(covers 10/23 – 12/10)
• You may also need to file:
o 24-Hour Reports, if you have any single contribution/expenditure
≥ $1,000 (due 10/23 – 11/4, within 24 hours of the
contribution/expenditure)
o Pre-Election Semiannual Report, if you raise/spend over $500 in
the calendar year before the election
o Post-Election Semiannual Report, if you carry a balance of more
than $100 as of the 42- Day Post-Election Report (due every 6
months until the balance is $100 or less)
What if I want to spend my own money on my campaign?
• Personal funds may be used on a campaign, but must be reported in
the Campaign Finance Report
• Decide what type of contribution you are making to your campaign:
o A cash contribution describes money that is donated to the
campaign without the intent
of being repaid o A loan occurs when you “front” money to the
campaign, with the intent of being repaid
later on
o An in-kind contribution is a good or service provided to the
campaign at no cost or at a discounted cost; this includes
payments/purchases made on behalf of the campaign (i.e. a neighbor
buys your lawn signs for you)
o Note that a loan can be “forgiven” at a later date if the intent
to be repaid changes – if the donor (the candidate or otherwise)
decides not to ask for repayment, the forgiven loan then becomes a
cash contribution, and must be reported as such
Are there any limits on contributions?
• “Anonymous” contributions are limited to $10 or less •
Contributions from the candidate or candidate’s spouse/domestic
partner have no limit • Contributions from everyone else are capped
at $850 (cumulatively per contributor) • Contributions may only be
made by U.S. citizens and people with valid green cards
What contribution information do I need to track?
• Contributions under $10 can be made anonymously • Contributions
of $10 to $50 name, address, amount and date • Contributions over
$50 name, address, amount, date, occupation and employer • Non-cash
contributions check the handbook for detailed info on how to
report
goods/services/in-kind contributions
What expenditure information do I need to track?
• All expenditures, regardless of amount amount, vendor name, date,
purpose, and relationship (if the vendor is an immediate family
member)
• Expenditures over $50 all of the above, plus the
receipt/invoice
What do I need to do after the election is over?
• If you are done raising/expending funds on your campaign, and you
do not intend to keep your campaign account active, you may “close
out” your campaign activities by disposing of surplus cash over
$100 (any balance over this amount will require the filing of
semiannual campaign finance reports). Check the Municipal Candidate
Guidebook for allowable methods of disposing of surplus cash.
• If your campaign account balance as reported in the 42-Day
Post-Election Campaign Finance Report shows $100 or less, your
campaign reporting is finished.
From: Angela Holmes Bcc: Phil Spiller; "
[email protected]";
"
[email protected]"; "
[email protected]" Subject: FW:
Candidate Registration Date: Friday, August 30, 2019 9:45:00 AM
Importance: High
Dear all, As a reminder, please file your candidate registration
form by 5pm today. Angela Holmes, CMC City Clerk & Registrar of
Voters NOTICE: In accordance with 1 M.R.S. § 402(3) of Maine's
Freedom of Access Act, any record (including this email) in the
possession or custody of a public official which has been received
or prepared for use in connection with the transaction of public or
governmental business or contains information relating to the
transaction of public or governmental business may constitute a
public record. There are very few exceptions. For more information,
please visit www.maine.gov/foaa.
From: Angela Holmes Sent: Tuesday, August 27, 2019 4:39 PM Subject:
Candidate Registration Importance: High Dear all, You have all been
nominated as candidates to appear on the November 5, 2019 ballot.
State law requires that each of you complete a Candidate
Registration Form within 10 days of the nomination. I realize I’m
sending this notice out late, so I ask that each of you please
complete this form if you have not done so already and return it to
my office by 5pm on Friday 8/30. For your convenience, you may
scan/email the form by the deadline, and mail or drop off the
original by the following week. In addition, please note that if
you intend to raise/expend funds on your campaign (including your
own personal funds), you will be required to complete a Campaign
Finance Report. Please review the information listed here. The most
important documents to review are as follows:
Filing Schedule Campaign Finance Report Form 2019 Municipal
Candidate’s Guidebook
Please let me know if you have any questions, or if you wish to
meet in person to review these requirements. In addition, for those
already serving on City Council or the School Committee, please
note that you will need to designate another email address for
campaign use. Angela Holmes, CMC City Clerk & Registrar of
Voters
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected]; Guy Cote;
[email protected];
[email protected];
[email protected];
[email protected];
[email protected]
Subject: Candidate Communications Date: Friday, September 13, 2019
2:05:00 PM Attachments: FY 20, Clerk & Elections.pdf
Campaign Finance Overview - 2019.08.28.docx Campaign Signage
Overview - 2019.08.28.docx signguidance.pdf
Dear Candidates, This is the first of several emails you will
receive between now and the election. I intend to send regular
updates addressing FAQs, issues, reminders, etc. If you have a
designated Treasurer or candidate committee, those individuals will
be included on the mailings as well.
Campaign Finance Overview. Please review the attached “Campaign
Finance Overview.” This is a summary of basic campaign finance
regulations. Click here for the full Municipal Candidates Guidebook
and links to campaign finance reporting.
Campaign Signage Overview. Please review the attached “Campaign
Signage Overview.” This is a summary of basic campaign signage
regulations. Please note that the law regulating
campaign signs is set to change on September 19th, giving
enforcement authority to municipalities and expanding the
prohibited areas of sign placement. As this change goes into effect
mid-election season, the City has determined to maintain status quo
regarding sign enforcement for this election. However, please note
that policy changes on temporary signage will likely take place in
the future. Click here to view the updates to State law.
Consolidated Polling Location. City Council and the Secretary of
State approved the consolidation of all polling locations. Please
help get the word out – all voters will now go to the Community
Center Gym (426 Bridge Street) to vote.
Absentee Ballots. Voters may request an absentee ballot at any time
by calling 591-8116, going online here, or by stopping by City Hall
to fill out a request form. Please spread the word. Ballots arrive
from the printer about 30 days prior to an election, at which point
we’ll start mailing them out to all who have submitted
requests.
Soliciting City Employees. I have been notified that several City
employees who are Westbrook residents have been approached by one
or more candidates asking for their support and/or to place a lawn
sign in their yard. We ask all candidates to refrain from
soliciting support from employees as this could be construed as
quid pro quo. Employees are free to reach out to candidates in
their personal time, if desired (not during work hours or using
city resources).
Voter Stats. A candidate stopped by today, and asked what our party
split is here in
TOTAL 13,844
Voter Statistics
Democrat 40%
Ward 1 Ward 2 Ward 3 Ward 4 Ward 5
Voter Totals by Ward
Department Organization
Operations Overview
FY 2019 Accomplishments
Ongoing Projects & Initiatives
Slide Number 6
Slide Number 7
Slide Number 8
Ongoing Projects & Initiatives
Slide Number 10
Slide Number 11
FY 2020 Summary
CITY OF WESTBROOK
CAMPAIGN FINANCE BASICS
Included below is an outline of the basics of campaign finance
reporting requirements for City of Westbrook candidates. Please
consult the “Municipal Candidates Guidebook” for additional
information.
OVERVIEW
Why do we have to submit campaign finance reports?
· Maine State Law dictates that municipal candidates in
municipalities with populations of ≥ 15,000 are subject to the same
campaign finance reporting requirements as candidates for state and
county office, with the municipal clerk acting in place of the
Maine Ethics Commission
· There are two parts to this process – registering as a candidate,
and filing campaign finance reports
Can I file my paperwork electronically?
· You may scan/email your registration form and campaign finance
reports to the Clerk, so long as the originals are received within
5 calendar days of the filing deadline
Who can look at my reports?
· Your registration and campaign finance reports are public
documents and can be inspected by any member of the public,
including other candidates and the media. The City may choose to
make copies of reports available online for ease of access.
PART 1 – CANDIDATE REGISTRATION
· If you raise funds for your campaign (including accepting
donations)
· If you expend funds on your campaign (including your own
funds)
· If you file nomination papers to appear on the ballot
· If you are nominated by caucus to appear on the ballot
· If you file as a write-in candidate
· EVERY candidate must register, even if you do not intend to
raise/expend funds on your campaign
When do I need to register?
· Before you accept contributions for your campaign
· Before you make any expenditures on your campaign
· Within 10 days of being nominated to appear on the ballot
(whether by filing papers or by caucus nomination)
How do I register?
· Complete the Registration form
· Nominate a Treasurer (you can be your own Treasurer)
· If there are any changes, notify the Clerk within 10 days
What if I don’t want to raise or expend funds on my campaign?
· If you are not raising/expending funds on your campaign
(including your own funds), you still need to register. However,
you do NOT need to file Campaign Finance Reports.
· Select the “exempt” option on the registration form. No need to
file any other paperwork.
· You may change your mind at any point – file an updated
registration form to remove your exempt status
What do I have to do once I’m registered?
· Open a separate bank account to use exclusively for campaign
finance activities
· Keep record of all financial activities (receipts, etc.) for 2
years
· Complete the Campaign Finance Report forms listing all
contributions and expenditures made for your campaign
PART 2 – CAMPAIGN FINANCE REPORTS
What Campaign Finance Reports do I have to file?
· Every who is not exempt (whether you win or lose) must
file:
· 11-Day Pre-Election Report, due on 10/25 (covers beginning of
campaign – 10/22)
· 42-Day Post-Election Report, due on 12/17 (covers 10/23 –
12/10)
· You may also need to file:
· 24-Hour Reports, if you have any single contribution/expenditure
≥ $1,000 (due 10/23 – 11/4, within 24 hours of the
contribution/expenditure)
· Pre-Election Semiannual Report, if you raise/spend over $500 in
the calendar year before the election
· Post-Election Semiannual Report, if you carry a balance of more
than $100 as of the 42-Day Post-Election Report (due every 6 months
until the balance is $100 or less)
What if I want to spend my own money on my campaign?
· Personal funds may be used on a campaign, but must be reported in
the Campaign Finance Report
· Decide what type of contribution you are making to your
campaign:
· A cash contribution describes money that is donated to the
campaign without the intent of being repaid
· A loan occurs when you “front” money to the campaign, with the
intent of being repaid later on
· An in-kind contribution is a good or service provided to the
campaign at no cost or at a discounted cost; this includes
payments/purchases made on behalf of the campaign (i.e. a neighbor
buys your lawn signs for you)
· Note that a loan can be “forgiven” at a later date if the intent
to be repaid changes – if the donor (the candidate or otherwise)
decides not to ask for repayment, the forgiven loan then becomes a
cash contribution, and must be reported as such
Are there any limits on contributions?
· “Anonymous” contributions are limited to $10 or less
· Contributions from the candidate or candidate’s spouse/domestic
partner have no limit
· Contributions from everyone else are capped at $850 (cumulatively
per contributor)
· Contributions may only be made by U.S. citizens and people with
valid green cards
What contribution information do I need to track?
· Contributions under $10 can be made anonymously
· Contributions of $10 to $50 name, address, amount and date
· Contributions over $50 name, address, amount, date, occupation
and employer
· Non-cash contributions check the handbook for detailed info on
how to report goods/services/in-kind contributions
What expenditure information do I need to track?
· All expenditures, regardless of amount amount, vendor name, date,
purpose, and relationship (if the vendor is an immediate family
member)
· Expenditures over $50 all of the above, plus the
receipt/invoice
What do I need to do after the election is over?
· If you are done raising/expending funds on your campaign, and you
do not intend to keep your campaign account active, you may “close
out” your campaign activities by disposing of surplus cash over
$100 (any balance over this amount will require the filing of
semiannual campaign finance reports). Check the Municipal Candidate
Guidebook for allowable methods of disposing of surplus cash.
· If your campaign account balance as reported in the 42-Day
Post-Election Campaign Finance Report shows $100 or less, your
campaign reporting is finished.
CITY OF WESTBROOK
CAMPAIGN SIGNAGE BASICS
Included below is an outline of the basics of campaign signage
regulations for City of Westbrook candidates. Please consult the
“Municipal Candidates Guidebook”, 23 MRSA § 1913-A(1)(L), and Maine
State DOT regulations for additional information.
A new public law goes into effect on September 19th that gives
expanded enforcement authority to municipalities and expands the
restricted areas for signage. As a policy decision, the City will
continue to enforce signage regulations as we have done in the past
for the November 2019 election. The new regulations will go into
effect in future elections.
OVERVIEW
There are two sets of regulations that govern political signage
(also called “temporary signage”) – campaign finance rules dictate
transparency on who authorized and paid for the sign, and State
transportation rules dictate when and where signs may be placed in
the public right-of-way (ROW).
When can I put out my signs?
· As of 2017, temporary signs such as campaign signs may be placed
in the public ROW for a max of 12 weeks during the calendar
year.
· There are no restrictions on when campaign signs may be placed on
private property.
Where can I place my signs?
· Signs may be located on private property with the property
owner’s approval.
· Signs may be located in the public ROW subject to the following
restrictions:
· Individual signs bearing substantially the same message must be
placed at least 30’ from one another
· Signs may not be placed:
· On public property location within 250’ of any polling place on
Election Day
· By painting/drawing on rocks or natural features
· On traffic control signs or devices
· On public utility poles or fixtures
· On rotary traffic islands
· On a median less than 6’ wide
· In any control-of-access area
· Signs cannot be placed in any location where they will limit the
sightline of vehicular traffic.
How big can my sign be?
· Signs may not exceed 4’ x 8’ in size.
What information needs to be listed on my signage?
· To meet campaign finance requirements, all communications (such
as palm cards or lawn signs, with some exceptions) need to disclose
(1) who paid for the item, and (2) whether the candidate authorized
the communication.
· Sample disclosure statement for communication purchased by
candidate: “Paid for and authorized by the Candidate”
· Sample disclosure statement for communication purchased by
candidate’s agent (i.e. someone associated with the campaign whose
information is on file with the City Clerk): “Authorized by the
Candidate and Paid for by Robert Clark, Treasurer”
· Sample disclosure statement for communication purchased by the
Candidate’s committee: “Authorized by the Candidate and paid for by
the Committee to Elect Jill Smith”
· Sample disclosure statement for communication purchased by a
third party (address must be listed): “Authorized by the Candidate
Jill Smith and Paid for by Sam White, 5 Oak Street, Westbrook, ME
04092”
· Communications that are exempt from the disclosure statement are
as follows:
· Hand-lettered (i.e. homemade) signage
· Small items, like pencils, where a disclosure statement couldn’t
reasonably fit
· Email ads
· Items costing less than $100 which are prepared/purchased by
individuals who are not required to register with the City Clerk
and who act independently of and without the authorization of the
candidate. See the Candidate Guidebook for more information.
· To meet State transportation requirements, signs placed on public
ROW must also contain:
· Name and address of the individual/organization that erected the
sign; and
· The date the sign was placed in the public ROW.
An easy way to meet this requirement is to print waterproof labels
to stick on each sign.
How do I submit a complaint about a political sign?
· Contact the City Clerk to submit a complaint about a sign.
Will the City remove signs?
· The City may remove any sign on the public ROW in the interest of
public safety, without notice. Signs will be available at the
Westbrook Public Services facilities (371 Saco Street) for pick
up.
Westbrook. I’ve included the attached document for reference, which
was presented to City Council during the FY 20 budget
hearings.
Mayoral Debate. I believe that David Ennis, a teacher at Westbrook
High School, will be reaching out to mayoral candidates to
coordinate a date/time for a mayoral debate, organized by WHS
students. Stay tuned. To my knowledge there are no other debates or
candidate nights planned by any local civic organization.
Please let me know if you have any questions. Thank you! Angela
Holmes, CMC City Clerk & Registrar of Voters City of Westbrook
2 York Street Westbrook, ME 04092 Phone: (207) 591-8115 Email:
[email protected] NOTICE: In accordance with 1 M.R.S. §
402(3) of Maine's Freedom of Access Act, any record (including this
email) in the possession or custody of a public official which has
been received or prepared for use in connection with the
transaction of public or governmental business or contains
information relating to the transaction of public or governmental
business may constitute a public record. There are very few
exceptions. For more information, please visit
www.maine.gov/foaa.
[email protected];
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[email protected]; Guy Cote
Subject: Candidate Updates Date: Friday, October 18, 2019 10:10:00
AM
Dear Candidates/Treasurers, Please review the following
information:
Contacting the City re: Political Signs. Please contact me directly
if you have a question or complaint about political signs. Other
departments have been fielding calls, and have asked that this
reminder be sent around. The one exception is if you need to report
a stolen sign – to file a Theft Report, you can contact the Police
Dispatch at 207-854-0644.
Placement of Political Signs. A reminder to make sure that all
signs bearing substantially the same message must be placed at
least 30’ apart.
Campaign Finance Reports. If you are subject to Campaign Finance
Reporting, please note that the 11-Day Pre-Election Report is due
by 5pm on Friday 10/25. You may send me a scanned/emailed copy so
long as the original is received by the following week. Click here
to access the report form, and click here for the Ethics Commission
website containing additional information, such as the Candidate
Guidebook. Please consult the Guidebook if you are unsure how to
list a contribution or expenditure.
Debates/Forums. I have been sharing Facebook posts of any debate or
forum that I’m made aware of through the City’s Facebook page. If
you hear of any forum that the City can assist in promoting, please
let me know. The City does not organize debates or forums, but we
are happy to assist in advertising these events.
Absentee Ballots. For general information, we have issued 383
absentee ballots to-date, and 178 have been returned.
As always, please feel free to call or text if you have any
questions. My cell is 671-0605. Angela Holmes, CCM/CMC City Clerk
& Registrar of Voters City of Westbrook 2 York Street
Westbrook, ME 04092 Phone: (207) 591-8115 Email:
[email protected]
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[email protected]; Guy Cote; Ashley
Rand; Melanie Fernald; Jerre Bryant; Stephen Fields
Subject: RE: Election Day Activities Date: Monday, October 21, 2019
2:30:00 PM
Dear all, I wanted to clarify the regulations pertaining to
advertising at City Hall during absentee voting. 21-A MRSA §
753-B(8) states that “For the 45 days preceding an election, during
the hours when the clerk's office is open and may be conducting
absentee voting, the display or distribution of any advertising
material intended to influence a voter's decision regarding a
candidate or question on the ballot for that election is prohibited
within the clerk's office and on public property within 250 feet of
the entrance to the building in which the clerk's office is
located.” There are two exceptions – if the person with the
advertising material is voting absentee at City Hall, or is at City
Hall to conduct municipal business. We interpret this last portion
to mean short, transactional municipal business – e.g. the 10
minutes it takes to register your vehicle, and not meetings or
conferences. If you are at City Hall for anything other than a
short transaction, the expectation is that no advertising materials
will be displayed on your person or on your vehicle. Thank you in
advance for your assistance in ensuring that Westbrook voters have
a fair and influence-free voting experience when absentee voting at
City Hall. Please contact me directly if you have any questions
about this. Angela Holmes, CCM/CMC City Clerk & Registrar of
Voters NOTICE: In accordance with 1 M.R.S. § 402(3) of Maine's
Freedom of Access Act, any record (including this email) in the
possession or custody of a public official which has been received
or prepared for use in connection with the transaction of public or
governmental business or contains information relating to the
transaction of public or governmental business may constitute a
public record. There are very few exceptions. For more information,
please visit www.maine.gov/foaa.
From: Angela Holmes Sent: Friday, October 18, 2019 11:23 AM
Subject: Election Day Activities Dear Candidates, Please review the
below information on Election Day activities. In accordance with
21-A MRSA § 682.2, a person may not influence or attempt to
influence another person’s decision regarding a candidate or
question that is on the current ballot in the voting place itself
or within 250’ of the entrance to the voting place on public
property.
No Advertising within 250’ on Public Property. This map has already
been distributed, but
I’m including it again for reference. No political advertising is
allowed on public property within 250’ of the entrance to any
polling location. This rule is currently in effect at City Hall, as
we are conducting absentee voting right now, and will be in effect
on Election Day over at the Community Center. This includes not
only the standard political lawn signs, but it also includes
buttons, bumper stickers, signs on vehicles, clothing, hats, name
tags, and other advertising items. The exceptions to this rule are
as follows:
Advertising is permitted on vehicles traveling to/from the voting
place is the vehicle is parked at the polls while the driver or
passengers of the vehicle are voting. A person at the polling
location for reasons other than voting (e.g. candidate, election
worker, pollwatcher) may not park a vehicle bearing political
advertising on public property within 250’ of the polls.
Persons in the voting place solely for the purpose of voting may
wear campaign buttons (dimensions may not exceed 3”). No one else
may wear campaign buttons of any size. The same restrictions apply
to badges or nametags containing a candidate’s name or promoting a
question on the ballot.
Verbal Communications with Voters. Candidates are allowed to be at
the polling location in the designated areas (read more below), and
are allowed to verbally communicate with voters as long as they do
not attempt to influence the voters. Candidates may shake hands and
say their name, but may not state the name of the office they are
seeking or ask for a person’s vote. A surrogate for the candidate
may also greet voters, but may not say they support the candidate
or ask for a vote on behalf of the candidate.
Designated Candidate Areas. Candidates may stand anywhere outside
of the Community Center, including outside any entrance. Due to the
consolidation of polling locations and increased foot traffic, we
will restrict where candidates can stand inside the Community
Center while voting takes place (7am – 8pm). Please refer to the
attached map (all prohibited areas marked in green). The exception
to this prohibition is any candidate who needs to enter the gym or
pool atrium hallway to either update voter registration or to vote.
A map of the internal layout of the gym and hallway where voter
registration will take place is also attached for reference. After
the polls close at 8pm, candidates are welcome to stand in the gym
outside the guardrail area to observe the closing process and to be
present for preliminary results.
Please be sure to share this information with anyone who may be
present at the polls on your behalf. Angela Holmes, CCM/CMC City
Clerk & Registrar of Voters City of Westbrook 2 York Street
Westbrook, ME 04092 Phone: (207) 591-8115
Email:
[email protected] NOTICE: In accordance with 1 M.R.S.
§ 402(3) of Maine's Freedom of Access Act, any record (including
this email) in the possession or custody of a public official which
has been received or prepared for use in connection with the
transaction of public or governmental business or contains
information relating to the transaction of public or governmental
business may constitute a public record. There are very few
exceptions. For more information, please visit
www.maine.gov/foaa.
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[email protected]"; Ashley Rand; Melanie Fernald
Subject: Candidate Communications Date: Friday, October 25, 2019
9:41:00 AM Importance: High
Dear Candidates/Treasurers,
Campaign Finance Reports Due. The 11-Day Pre-Election Campaign
Finance Report is due today by 5pm. These reports must be filed by
everyone, except those who signed the exemption certificate stating
that they would not raise/expend funds (including personal funds)
on their campaign. As noted in a previous email, you may submit a
scanned/emailed copy of the report as long as the original is
received by next week. Click here to access the report form, and
click here for the Ethics Commission website containing additional
information, such as the Candidate Guidebook. Please consult the
Guidebook if you are unsure how to list a contribution or
expenditure.
Election Results. I intend to release the unofficial election
results from the Westbrook Community Center on election night. The
results will be publicly posted and emailed.
Absentee Ballots. For general information, we have issued 635
absentee ballots to-date, and 400 have been returned.
City Hall Open Tomorrow. We will be open tomorrow from 9am-12pm for
absentee voting. Here is a link to the Facebook event. I’d
appreciate your assistance in getting the word out!
As always, please feel free to call or text if you have any
questions. My cell is 671-0605. Angela Holmes, CCM/CMC City Clerk
& Registrar of Voters City of Westbrook 2 York Street
Westbrook, ME 04092 Phone: (207) 591-8115 Email:
[email protected] NOTICE: In accordance with 1 M.R.S. §
402(3) of Maine's Freedom of Access Act, any record (including this
email) in the possession or custody of a public official which has
been received or prepared for use in connection with the
transaction of public or governmental business or contains
information relating to the transaction of public or governmental
business may constitute a public record. There are very few
exceptions. For more information, please visit
www.maine.gov/foaa.
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[email protected]"; Ashley Rand; Melanie Fernald
Subject: Candidate Communications Date: Tuesday, October 29, 2019
9:06:00 AM
Dear Candidates, Please review the following:
Amendments. Several candidates must file amendments to their 11-Day
Pre-Election Campaign Finance reports. These amendments are due no
later than Friday.
24-Hour Reports. As outlined in the Guidebook, if you receive or
expend $1,000 or more between 10/23 – 11/4, you must file a 24-hour
report with this office within 24 hours of the receipt/expenditure.
You may file this by email, provided that the original is received
within 5 calendar days. Click here to view the 24-hour report
forms.
Receipts/Invoices. As a reminder, I reserve the right to request
any receipt, invoice, bank statement or other financial
record.
Penalties for Late Filings. There are penalties for late filings,
which will be assessed.
Reports Posted Online. All campaign finance reports will be posted
online later today, as these are public documents.
Angela Holmes, CCM/CMC City Clerk & Registrar of Voters City of
Westbrook 2 York Street Westbrook, ME 04092 Phone: (207) 591-8115
Email:
[email protected] NOTICE: In accordance with 1 M.R.S.
§ 402(3) of Maine's Freedom of Access Act, any record (including
this email) in the possession or custody of a public official which
has been received or prepared for use in connection with the
transaction of public or governmental business or contains
information relating to the transaction of public or governmental
business may constitute a public record. There are very few
exceptions. For more information, please visit
www.maine.gov/foaa.
"
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[email protected]"; Ashley Rand; Melanie Fernald
Subject: RE: Candidate Communications Date: Tuesday, October 29,
2019 10:12:00 AM
Dear all, Click here to view all campaign finance reports.
Amended/corrected reports will be posted when received. Angela
Holmes, CCM/CMC City Clerk & Registrar of Voters NOTICE: In
accordance with 1 M.R.S. § 402(3) of Maine's Freedom of Access Act,
any record (including this email) in the possession or custody of a
public official which has been received or prepared for use in
connection with the transaction of public or governmental business
or contains information relating to the transaction of public or
governmental business may constitute a public record. There are
very few exceptions. For more information, please visit
www.maine.gov/foaa.
From: Angela Holmes Sent: Tuesday, October 29, 2019 9:07 AM
Subject: Candidate Communications Dear Candidates, Please review
the following:
Amendments. Several candidates must file amendments to their 11-Day
Pre-Election Campaign Finance reports. These amendments are due no
later than Friday.
24-Hour Reports. As outlined in the Guidebook, if you receive or
expend $1,000 or more between 10/23 – 11/4, you must file a 24-hour
report with this office within 24 hours of the receipt/expenditure.
You may file this by email, provided that the original is received
within 5 calendar days. Click here to view the 24-hour report
forms.
Receipts/Invoices. As a reminder, I reserve the right to request
any receipt, invoice, bank statement or other financial
record.
Penalties for Late Filings. There are penalties for late filings,
which will be assessed.
Reports Posted Online. All campaign finance reports will be posted
online later today, as these are public documents.
Angela Holmes, CCM/CMC City Clerk & Registrar of Voters
From: Angela Holmes To: "
[email protected]" Subject: Late Filing
Penalty Date: Tuesday, October 29, 2019 1:25:00 PM Attachments:
Late Filing, Spiller.pdf Importance: High
Hi Phil, As noted yesterday, you will be subject to a late filing
penalty. Please see the attached letter. Angela Holmes, CCM/CMC
City Clerk & Registrar of Voters City of Westbrook 2 York
Street Westbrook, ME 04092 Phone: (207) 591-8115 Email:
[email protected] NOTICE: In accordance with 1 M.R.S. §
402(3) of Maine's Freedom of Access Act, any record (including this
email) in the possession or custody of a public official which has
been received or prepared for use in connection with the
transaction of public or governmental business or contains
information relating to the transaction of public or governmental
business may constitute a public record. There are very few
exceptions. For more information, please visit
www.maine.gov/foaa.
"
[email protected]";
"
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"
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"
[email protected]"; Ashley Rand; Melanie Fernald
Subject: Candidate Communication - Signage Date: Friday, November
1, 2019 9:10:00 AM Importance: High
Dear all, Please review the below:
Reporting sign theft. As noted in a previous email, the only
appropriate method to report a stolen sign is to call Police
Dispatch at 207-854-0644. Do not call any officer directly.
Signs on Main Street. The Police Department was made aware of a
video of a person who appears to be mentally ill pulling signs
along Main Street and throwing them in the street. If you see
anyone pulling signs, please contact Police Dispatch immediately so
that they can take action.
Amendments. If you were required to submit an amendment to your
11-Day Pre-Election Campaign Finance Report, the deadline to submit
such amendment is today at 5pm.
Angela Holmes, CCM/CMC City Clerk & Registrar of Voters City of
Westbrook 2 York Street Westbrook, ME 04092 Phone: (207) 591-8115
Email:
[email protected] NOTICE: In accordance with 1 M.R.S.
§ 402(3) of Maine's Freedom of Access Act, any record (including
this email) in the possession or custody of a public official which
has been received or prepared for use in connection with the
transaction of public or governmental business or contains
information relating to the transaction of public or governmental
business may constitute a public record. There are very few
exceptions. For more information, please visit
www.maine.gov/foaa.
"
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"
[email protected]"; Ashley Rand; Melanie Fernald
Subject: RE: Candidate Communications Date: Monday, November 4,
2019 7:28:00 PM
Dear Candidates, Another reminder on the 24-hour report filing (see
below). Angela Holmes, CCM/CMC City Clerk & Registrar of Voters
NOTICE: In accordance with 1 M.R.S. § 402(3) of Maine's Freedom of
Access Act, any record (including this email) in the possession or
custody of a public official which has been received or prepared
for use in connection with the transaction of public or
governmental business or contains information relating to the
transaction of public or governmental business may constitute a
public record. There are very few exceptions. For more information,
please visit www.maine.gov/foaa.
From: Angela Holmes Sent: Tuesday, October 29, 2019 9:07 AM
Subject: Candidate Communications Dear Candidates, Please review
the following:
Amendments. Several candidates must file amendments to their 11-Day
Pre-Election Campaign Finance reports. These amendments are due no
later than Friday.
24-Hour Reports. As outlined in the Guidebook, if you receive or
expend $1,000 or more between 10/23 – 11/4, you must file a 24-hour
report with this office within 24 hours of the receipt/expenditure.
You may file this by email, provided that the original is received
within 5 calendar days. Click here to view the 24-hour report
forms.
Receipts/Invoices. As a reminder, I reserve the right to request
any receipt, invoice, bank statement or other financial
record.
Penalties for Late Filings. There are penalties for late filings,
which will be assessed.
Reports Posted Online. All campaign finance reports will be posted
online later today, as these are public documents.
Angela Holmes, CCM/CMC City Clerk & Registrar of Voters City of
Westbrook
From: Angela Holmes To: Phil Spiller Subject: Late Filings Date:
Thursday, November 7, 2019 2:30:00 PM Importance: High
Hi Phil, I’m concerned that you may have made expenditures or
received contributions which would have required a 24-hour campaign
finance report filing, and have not submitted the paperwork. Please
reference my previous emails for additional information on these
requirements. Late penalties are applicable to each date you are
late with these filings. Please call me at your earliest
convenience so we can discuss this. Angela Holmes, CCM/CMC City
Clerk & Registrar of Voters City of Westbrook 2 York Street
Westbrook, ME 04092 Phone: (207) 591-8115 Email:
[email protected] NOTICE: In accordance with 1 M.R.S. §
402(3) of Maine's Freedom of Access Act, any record (including this
email) in the possession or custody of a public official which has
been received or prepared for use in connection with the
transaction of public or governmental business or contains
information relating to the transaction of public or governmental
business may constitute a public record. There are very few
exceptions. For more information, please visit
www.maine.gov/foaa.
From: Angela Holmes To: Phil Spiller Subject: Penalties for Second
Late Filing Date: Tuesday, November 12, 2019 10:07:00 AM
Attachments: Second Late Filing, Spiller.signed.pdf Importance:
High
Hi Phil, Please review the attached letter outlining the penalties
for your second late filing. A certified letter will be mailed to
your home address today. Angela Holmes, CCM/CMC City Clerk &
Registrar of Voters City of Westbrook 2 York Street Westbrook, ME
04092 Phone: (207) 591-8115 Email:
[email protected] NOTICE:
In accordance with 1 M.R.S. § 402(3) of Maine's Freedom of Access
Act, any record (including this email) in the possession or custody
of a public official which has been received or prepared for use in
connection with the transaction of public or governmental business
or contains information relating to the transaction of public or
governmental business may constitute a public record. There are
very few exceptions. For more information, please visit
www.maine.gov/foaa.
Candidate Communications - 2019.11.01
Candidate Communications - 2019.11.04
Second Late Filing Letter
From: Angela Holmes Bcc: "
[email protected]"; Phil
Spiller; "
[email protected]"; "claude rwaganje"; Deb
Shangraw
(
[email protected]); "
[email protected]"; Larry
McWilliams; "
[email protected]";
"
[email protected]"; "
[email protected]";
"
[email protected]"; "Adam Cowsert"; "Phil Brown";
"
[email protected]"
Subject: Candidate Registration Date: Tuesday, August 27, 2019
4:38:00 PM Importance: High
Dear all, You have all been nominated as candidates to appear on
the November 5, 2019 ballot. State law requires that each of you
complete a Candidate Registration Form within 10 days of the
nomination. I realize I’m sending this notice out late, so I ask
that each of you please complete this form if you have not done so
already and return it to my office by 5pm on Friday 8/30. For your
convenience, you may scan/email the form by the deadline, and mail
or drop off the original by the following week.
In addition, please note that if you intend to raise/expend funds
on your campaign (including your own personal funds), you will be
required to complete a Campaign Finance Report. Please review the
information listed here. The most important documents to review are
as follows:
Filing Schedule Campaign Finance Report Form 2019 Municipal
Candidate’s Guidebook
Please let me know if you have any questions, or if you wish to
meet in person to review these requirements.
In addition, for those already serving on City Council or the
School Committee, please note that you will need to designate
another email address for campaign use.
Angela Holmes, CMC City Clerk & Registrar of Voters City of
Westbrook 2 York Street Westbrook, ME 04092 Phone: (207) 591-8115
Email:
[email protected]
NOTICE: In accordance with 1 M.R.S. § 402(3) of Maine's Freedom of
Access Act, any record (including this email) in the possession or
custody of a public official which has been received or prepared
for use in connection with the transaction of public or
governmental business or contains information relating to the
transaction of public or governmental business may constitute a
public record. There are very few exceptions. For more information,
please visit www.maine.gov/foaa.
ETH - 10
CITY OF WESTBROOK CAMPAIGN FINANCE BASICS
Included below is an outline of the basics of campaign finance
reporting requirements for City of Westbrook candidates. Please
consult the “Municipal Candidates Guidebook” for additional
information.
OVERVIEW Why do we have to submit campaign finance reports?
• Maine State Law dictates that municipal candidates in
municipalities with populations of ≥ 15,000 are subject to the same
campaign finance reporting requirements as candidates for state and
county office, with the municipal clerk acting in place of the
Maine Ethics Commission
• There are two parts to this process – registering as a candidate,
and filing campaign finance reports
Can I file my paperwork electronically?
• You may scan/email your registration form and campaign finance
reports to the Clerk, so long as the originals are received within
5 calendar days of the filing deadline
Who can look at my reports?
• Your registration and campaign finance reports are public
documents and can be inspected by any member of the public,
including other candidates and the media. The City may choose to
make copies of reports available online for ease of access.
PART 1 – CANDIDATE REGISTRATION Who must register as a
candidate?
• If you raise funds for your campaign (including accepting
donations) • If you expend funds on your campaign (including your
own funds) • If you file nomination papers to appear on the ballot
• If you are nominated by caucus to appear on the ballot • If you
file as a write-in candidate • EVERY candidate must register, even
if you do not intend to raise/expend funds on your
campaign
When do I need to register?
• Before you accept contributions for your campaign • Before you
make any expenditures on your campaign • Within 10 days of being
nominated to appear on the ballot (whether by filing papers or
by
caucus nomination)
ETH - 11
How do I register?
• Complete the Registration form • Nominate a Treasurer (you can be
your own Treasurer) • If there are any changes, notify the Clerk
within 10 days
What if I don’t want to raise or expend funds on my campaign?
• If you are not raising/expending funds on your campaign
(including your own funds), you still need to register. However,
you do NOT need to file Campaign Finance Reports.
• Select the “exempt” option on the registration form. No need to
file any other paperwork. • You may change your mind at any point –
file an updated registration form to remove your
exempt status
What do I have to do once I’m registered?
• Open a separate bank account to use exclusively for campaign
finance activities • Keep record of all financial activities
(receipts, etc.) for 2 years • Complete the Campaign Finance Report
forms listing all contributions and expenditures made
for your campaign
What Campaign Finance Reports do I have to file?
• Every who is not exempt (whether you win or lose) must file: o
11-Day Pre-Election Report, due on 10/25 (covers beginning of
campaign – 10/22) o 42-Day Post-Election Report, due on 12/17
(covers 10/23 – 12/10)
• You may also need to file:
o 24-Hour Reports, if you have any single contribution/expenditure
≥ $1,000 (due 10/23 – 11/4, within 24 hours of the
contribution/expenditure)
o Pre-Election Semiannual Report, if you raise/spend over $500 in
the calendar year before the election
o Post-Election Semiannual Report, if you carry a balance of more
than $100 as of the 42- Day Post-Election Report (due every 6
months until the balance is $100 or less)
What if I want to spend my own money on my campaign?
• Personal funds may be used on a campaign, but must be reported in
the Campaign Finance Report
• Decide what type of contribution you are making to your campaign:
o A cash contribution describes money that is donated to the
campaign without the intent
of being repaid o A loan occurs when you “front” money to the
campaign, with the intent of being repaid
later on
ETH - 12
emma.burke
Line
o An in-kind contribution is a good or service provided to the
campaign at no cost or at a discounted cost; this includes
payments/purchases made on behalf of the campaign (i.e. a neighbor
buys your lawn signs for you)
o Note that a loan can be “forgiven” at a later date if the intent
to be repaid changes – if the donor (the candidate or otherwise)
decides not to ask for repayment, the forgiven loan then becomes a
cash contribution, and must be reported as such
Are there any limits on contributions?
• “Anonymous” contributions are limited to $10 or less •
Contributions from the candidate or candidate’s spouse/domestic
partner have no limit • Contributions from everyone else are capped
at $850 (cumulatively per contributor) • Contributions may only be
made by U.S. citizens and people with valid green cards
What contribution information do I need to track?
• Contributions under $10 can be made anonymously • Contributions
of $10 to $50 name, address, amount and date • Contributions over
$50 name, address, amount, date, occupation and employer • Non-cash
contributions check the handbook for detailed info on how to
report
goods/services/in-kind contributions
What expenditure information do I need to track?
• All expenditures, regardless of amount amount, vendor name, date,
purpose, and relationship (if the vendor is an immediate family
member)
• Expenditures over $50 all of the above, plus the
receipt/invoice
What do I need to do after the election is over?
• If you are done raising/expending funds on your campaign, and you
do not intend to keep your campaign account active, you may “close
out” your campaign activities by disposing of surplus cash over
$100 (any balance over this amount will require the filing of
semiannual campaign finance reports). Check the Municipal Candidate
Guidebook for allowable methods of disposing of surplus cash.
• If your campaign account balance as reported in the 42-Day
Post-Election Campaign Finance Report shows $100 or less, your
campaign reporting is finished.
ETH - 13
ETH - 14
MUNICIPAL ELECTION: NOVEMBER 5, 2019
REQUIRED REPORT FILING DEADLINE
(BY CLOSE OF BUSINESS) REPORT PERIOD
11-Day Pre-Election October 25, 2019 Beginning of campaign –
October 22, 2019
42-Day Post-Election December 17, 2019 October 23, 2019 – December
10, 2019
ADDITIONAL REPORTS THAT MAY BE REQUIRED:
Pre-Election Semiannual Reports
Any candidate who raises or spends more than $500 in the calendar
year preceding the year of the election or prior to July 1st of the
election year must file pre-election semiannual reports. Please
check with the Clerk’s Office to determine if and when semiannual
reports are required.
Post-Election Semiannual Reports
Any candidate reporting a cash balance, outstanding loan balance,
and/or unpaid debt/obligation of more than $100 on the 42-Day
Post-Election Report is required to file Post-Election Semiannual
Reports every six months until the cash, loan and/or debt balances
are $100 or less. Once these balances are $100 or less, the
campaign is considered “closed out” and no additional reports are
required. Please check with the Clerk’s Office to obtain semiannual
report forms, the filing schedule, and information on how to close
out your campaign.
REQUIRED REPORT: 24-HOUR REPORT WHAT TO REPORT WHEN TO FILE THE
REPORT
October 23, 2019
November 4, 2019
Any single contribution of $1,000 or more. Under Maine Election
Law, loans are considered contributions. Any single expenditure of
$1,000 or more. Orders placed with or obligations made to vendors
for goods or services are considered expenditures at the time an
order is placed or obligation are made.
Within 24 hours, including Saturdays and Sundays, of receiving the
contribution or making the expenditure, incurring the obligation,
or placing the order.
FILING PROCEDURES
Filing Campaign Finance Reports on Paper. Each original campaign
finance report signed by the candidate and/or treasurer must be
properly filed with the Clerk’s Office by the filing deadline,
except in two circumstances. A properly signed report may be faxed
to the Clerk’s Office at the number above by the close of business
on the deadline, provided that the Clerk’s Office receives the
original report within five calendar days. A report mailed to the
Clerk’s Office by certified or registered mail and postmarked at
least 2 days before the filing deadline will not be considered
late, even if it is received after the deadline.
Staff in the Clerk’s Office will be available until the close of
business on the filing deadlines to offer assistance to candidates
and treasurers.
ETH - 15
From: Angela Holmes Bcc: Phil Spiller; "
[email protected]";
"
[email protected]"; "
[email protected]" Subject: FW:
Candidate Registration Date: Friday, August 30, 2019 9:45:00 AM
Importance: High
Dear all, As a reminder, please file your candidate registration
form by 5pm today. Angela Holmes, CMC City Clerk & Registrar of
Voters NOTICE: In accordance with 1 M.R.S. § 402(3) of Maine's
Freedom of Access Act, any record (including this email) in the
possession or custody of a public official which has been received
or prepared for use in connection with the transaction of public or
governmental business or contains information relating to the
transaction of public or governmental business may constitute a
public record. There are very few exceptions. For more information,
please visit www.maine.gov/foaa.
From: Angela Holmes Sent: Tuesday, August 27, 2019 4:39 PM Subject:
Candidate Registration Importance: High Dear all, You have all been
nominated as candidates to appear on the November 5, 2019 ballot.
State law requires that each of you complete a Candidate
Registration Form within 10 days of the nomination. I realize I’m
sending this notice out late, so I ask that each of you please
complete this form if you have not done so already and return it to
my office by 5pm on Friday 8/30. For your convenience, you may
scan/email the form by the deadline, and mail or drop off the
original by the following week. In addition, please note that if
you intend to raise/expend funds on your campaign (including your
own personal funds), you will be required to complete a Campaign
Finance Report. Please review the information listed here. The most
important documents to review are as follows:
Filing Schedule Campaign Finance Report Form 2019 Municipal
Candidate’s Guidebook
Please let me know if you have any questions, or if you wish to
meet in person to review these requirements. In addition, for those
already serving on City Council or the School Committee, please
note that you will need to designate another email address for
campaign use. Angela Holmes, CMC City Clerk & Registrar of
Voters
ETH - 16
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected];
[email protected]; Guy Cote;
[email protected];
[email protected];
[email protected];
[email protected];
[email protected]
Subject: Candidate Communications Date: Friday, September 13, 2019
2:05:00 PM Attachments: FY 20, Clerk & Elections.pdf
Campaign Finance Overview - 2019.08.28.docx Campaign Signage
Overview - 2019.08.28.docx signguidance.pdf
Dear Candidates, This is the first of several emails you will
receive between now and the election. I intend to send regular
updates addressing FAQs, issues, reminders, etc. If you have a
designated Treasurer or candidate committee, those individuals will
be included on the mailings as well.
Campaign Finance Overview. Please review the attached “Campaign
Finance Overview.” This is a summary of basic campaign finance
regulations. Click here for the full Municipal Candidates Guidebook
and links to campaign finance reporting.
Campaign Signage Overview. Please review the attached “Campaign
Signage Overview.” This is a summary of basic campaign signage
regulations. Please note that the law regulating
campaign signs is set to change on September 19th, giving
enforcement authority to municipalities and expanding the
prohibited areas of sign placement. As this change goes into effect
mid-election season, the City has determined to maintain status quo
regarding sign enforcement for this election. However, please note
that policy changes on temporary signage will likely take place in
the future. Click here to view the updates to State law.
Consolidated Polling Location. City Council and the Secretary of
State approved the consolidation of all polling locations. Please
help get the word out – all voters will now go to the Community
Center Gym (426 Bridge Street) to vote.
Absentee Ballots. Voters may request an absentee ballot at any time
by calling 591-8116, going online here, or by stopping by City Hall
to fill out a request form. Please spread the word. Ballots arrive
from the printer about 30 days prior to an election, at which point
we’ll start mailing them out to all who have submitted
requests.
Soliciting City Employees. I have been notified that several City
employees who are Westbrook residents have been approached by one
or more candidates asking for their support and/or to place a lawn
sign in their yard. We ask all candidates to refrain from
soliciting support from employees as this could be construed as
quid pro quo. Employees are free to reach out to candidates in
their personal time, if desired (not during work hours or using
city resources).
Voter Stats. A candidate stopped by today, and asked what our party
split is here in
ETH - 17
TOTAL 13,844
Voter Statistics
Democrat 40%
Ward 1 Ward 2 Ward 3 Ward 4 Ward 5
Voter Totals by Ward
Department Organization
Operations Overview
FY 2019 Accomplishments
Ongoing Projects & Initiatives
Slide Number 6
Slide Number 7
Slide Number 8
Ongoing Projects & Initiatives
Slide Number 10
Slide Number 11
FY 2020 Summary
CITY OF WESTBROOK
CAMPAIGN FINANCE BASICS
Included below is an outline of the basics of campaign finance
reporting requirements for City of Westbrook candidates. Please
consult the “Municipal Candidates Guidebook” for additional
information.
OVERVIEW
Why do we have to submit campaign finance reports?
· Maine State Law dictates that municipal candidates in
municipalities with populations of ≥ 15,000 are subject to the same
campaign finance reporting requirements as candidates for state and
county office, with the municipal clerk acting in place of the
Maine Ethics Commission
· There are two parts to this process – registering as a candidate,
and filing campaign finance reports
Can I file my paperwork electronically?
· You may scan/email your registration form and campaign finance
reports to the Clerk, so long as the originals are received within
5 calendar days of the filing deadline
Who can look at my reports?
· Your registration and campaign finance reports are public
documents and can be inspected by any member of the public,
including other candidates and the media. The City may choose to
make copies of reports available online for ease of access.
PART 1 – CANDIDATE REGISTRATION
· If you raise funds for your campaign (including accepting
donations)
· If you expend funds on your campaign (including your own
funds)
· If you file nomination papers to appear on the ballot
· If you are nominated by caucus to appear on the ballot
· If you file as a write-in candidate
· EVERY candidate must register, even if you do not intend to
raise/expend funds on your campaign
When do I need to register?
· Before you accept contributions for your campaign
· Before you make any expenditures on your campaign
· Within 10 days of being nominated to appear on the ballot
(whether by filing papers or by caucus nomination)
How do I register?
· Complete the Registration form
· Nominate a Treasurer (you can be your own Treasurer)
· If there are any changes, notify the Clerk within 10 days
What if I don’t want to raise or expend funds on my camp